Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Nash (Nash), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Nash recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $216,208.00 on April 18, 2023.
New Jersey client alleges their former financial advisor recommended unsuitable and excessive transactions in unspecified fixed income securities between 2018 and\, 2022 resulting in a loss.